Georgia Mason

Compliance Monitoring Officer (12-Month FTC) Location: Manchester (Hybrid)A leading UK financial services firm is hiring a Compliance Monitoring Officer to support risk control, ethical practices, and FCA compliance, particularly around Consumer Duty. Key Responsibilities:Conduct thematic and routine compliance reviews to assess Consumer Duty alignment, risk control effectiveness, and regulatory adherence.Support the delivery of the Compliance Monitoring Plan, providing actionable insights and feedback to drive business-wide improvements.Investigate breaches, manage compliance registers (e.g. breaches, gifts, conflicts), and ensure timely resolution and accurate reporting.Champion fair customer outcomes and help embed a culture of ethical conduct across the business.Requirements:Experience in a compliance role within an FCA-regulated environment; knowledge of investment platforms or stockbroking is a plus.Strong understanding of compliance monitoring, testing methodologies, and regulatory frameworks.Familiarity with the FCA Handbook (COBS, SYSC, CASS, MAR, etc.) and awareness of AML legislation and financial crime prevention.

MLRO (SMF17 Authorised) Location: East Kilbride, ScotlandA UK-based, SME-focused challenger bank is looking to appoint a Money Laundering Reporting Officer (SMF17) to join its senior team. This is a key leadership role, ideal for either:An experienced MLRO (already SMF17 authorised), orA strong Deputy MLRO ready to step up into their first authorised position.Requirements:Prior experience in a financial crime leadership role in a UK-regulated bank or fintech.Strong technical knowledge of AML/CTF laws, regulations, and FCA expectations.SMF17 authorised (or able to be approved).Comfortable working in a high-growth, agile environment.

Senior Compliance Advisory OfficerLocation: London – HybridA leading global provider of asset management and investment solutions is seeking an experienced Senior Compliance Manager who will support the business by providing regulatory advice, reviewing communications, monitoring activities, and helping maintain compliance with FCA and other applicable regulations.Key Responsibilities:Provide regulatory compliance advice to asset management and investment business units, ensuring adherence to FCA rules (including CASS, SMCR, Consumer Duty, and Market Abuse) and MiFID requirements.Review and advise on financial promotions and marketing materials to ensure compliance with UK and EU regulations.Monitor regulatory developments, assess impact on the business, and support implementation of new compliance requirements.Draft, review, and update internal compliance policies and procedures in line with evolving regulatory expectations.Support senior compliance leadership and represent the Compliance function in business and governance meetings, contributing to effective oversight and risk management.Skills & Knowledge:8+ years' advisory compliance experience in wealth or investment managementStrong knowledge of FCA regulations (MIFID, CASS, SMCR, consumer duty, market abuse, trade surveillance, conflict of interest)Strong ability to communicate with regulators and senior stakeholders

Job Title: Data Privacy Manager (EMEA) Location: London, UK Hybrid – 3 days in officeExciting Opportunity to join a Global Financial Services Firm within their global privayc team. Looking for a Date Privacy Manager to support with the delivery of the privacy program, drive data gocernance compliance and implment privacy and governance practices. This role sits within the global privacy team covering EMEA.Responsibilities:Lead and manage data privacy and governance operations across EMEA.Serve as the regional privacy expert and point of contactEnsure compliance with regional and global privacy laws and standardsConduct and manage DPIAs, DSARs, data mapping, and incident responseDeliver privacy training and raise awareness across the regionOversee third-party vendor privacy assessmentsUse OneTrust to manage privacy operations and reportingCollaborate with senior leadership and global privacy teams Requirements:Strong knowledge of GDPR, UK GDPR, and other regional data protection lawsExperience managing privacy programs, within financial servicesProficiency in privacy tools (e.g., OneTrust)Relevant qualifications (e.g., CIPP/E, CIPM or equivalent)Confidence engaging and working with senior stakeholders

Job Title: Compliance SupervisorLocation: HorshamOverview:An established financial services network is seeking a Compliance Supervisor to support regulatory oversight, promote a strong compliance culture, and help ensure firms deliver good consumer outcomes. The role involves audit work, file reviews, technical support, and regulatory guidance.Responsibilities:Conduct risk-based compliance auditsReview client files for suitability and regulatory adherenceApprove financial promotions and support firms with advertising standardsProvide compliance and technical support to advisersHandle complaints fairly and assist with root cause analysisConduct due diligence on providers and assist with regulatory projectsAct as a key contact for field staff and advisersRequirements:Strong knowledge of FCA rules (COBS, SUP, DISP)Experience in compliance monitoring and adviser supportCompliance qualificationClear communication, strong judgment, and a flexible approachidealCertificate in Financial Planning (CII or equivalent), diploma preferred or in progressFinancial Promotions

Job Title: Senior Compliance Monitoring Officer Location: London, UK (Hybrid)The Opportunity A leading global financial services firm is looking for a Senior Compliance Monitoring Officer to join its growing compliance function in London. This is a great opportunity to take ownership of high-impact compliance reviews and contribute to a strong culture of regulatory excellence. Key ResponsibilitiesDeliver thematic and periodic compliance monitoring reviewsDocument findings clearly and communicate results to senior stakeholdersTrack remediation and support continuous improvement effortsContribute to compliance risk assessments and monitoring plansAssist in developing compliance policies and frameworksCollaborate with global compliance teams on best practicesWhat You Bring5+ years in compliance monitoring, or financial services complianceStrong knowledge of FCA rules, MiFID, SMCR, Consumer Duty, UCITS, and market abuse regulationsExcellent communication, analytical, and stakeholder management skills

Senior Compliance Manager (Investments) Location: London (Hybrid – 2 to 3 days in the office) We are hiring on behalf of a fast-growing fintech that is transforming how people save, invest, and plan for their financial future. As the business continues to expand its investment offering, they are seeking a Senior Compliance Manager (Investments) to play a key role in ensuring strong, customer-focused compliance across their products.This is an excellent opportunity to step into a senior position within a progressive and collaborative Risk & Compliance function. You will help shape investment oversight frameworks, provide expert regulatory guidance, and contribute to building a best-in-class compliance culture. What you’ll be doingLead the development of a proportionate investment oversight framework and provide regulatory advice to support the delivery of compliant, customer-focused investment productsOversee investment services from a second line perspective and manage key relationships with internal teams and external partners, such as asset managersDrive regulatory change initiatives, maintain compliance policies, and advise on high-risk promotions and complex customer scenariosContribute to broader compliance and governance projects while staying on top of relevant regulatory developmentsWhat we’re looking forIn-depth knowledge of UK investment product regulations, including MiFID and CASSExperience overseeing retail investment products, including periodic reviews and governance frameworksProven ability to provide compliance advice within a retail investment environmentIdeally, experience in setting up or maintaining fund oversight and governance structuresAbility to work independently, with sound judgement and a methodical, analytical approach